Financial Securities Examiner

Help us uphold our mission to protect investors as a Securities Examiner in our Bureau of Enforcement in the Division of Securities at the Wisconsin Department of Financial Institutions! In this role, you will be responsible for investigating possible violations of the State’s Securities and Franchise laws and preparing investigation results for use in administrative, civil, or criminal litigation.

This classification series provides multiple career growth and advancement opportunities as knowledge and experience is gained!

This position offers a hybridized work schedule! This full-time permanent position will be headquartered at and required to work from the Madison Hill Farms State Office Building at 4822 Madison Yards Way Madison, WI at least 2 days per week. All employees working a hybrid work schedule are still expected to telework from within the State of Wisconsin. This topic will be discussed more at the time of the interview.

The Department of Financial Institutions (DFI) ensures the safety and soundness of Wisconsin’s financial institutions, protects consumers of financial services and facilitates economic growth. The agency regulates and licenses financial service providers who do business in Wisconsin. Find out more about DFI here!

DFI is a great place to work! In addition to meaningful and rewarding work, we offer a competitive benefits package featuring:

• Substantial leave time including at least 3.5 weeks of paid leave time to start, 9 paid holidays, and 130 hours of sick time that roll over each year.
• Excellent and affordable health, vision, and dental benefits (health plan options start at just $42/month for single plans and $104/month for family plans after two months of employment)
• A casual office atmosphere, flexible work schedules, and telework options depending on the position’s requirements
• An exceptional pension plan with employer match and lifetime retirement payment, plus an optional tax advantaged 457 retirement savings plan
• Well Wisconsin Wellness Program
• A free and confidential employee assistance program that offers employees and their immediate family dependents a variety of tools, resources, and professional consultation services to support their health, goals, and overall well-being
• Use this Total Rewards Calculator to see the total value of our competitive benefits package!

In addition to our generous employee benefits, we strive for inclusivity and celebrate different religious holidays and cultural observances and provide flexibility for utilizing paid time off for such celebrations.

The primary responsibility of this position will involve reviewing, researching, analyzing, and summarizing financial data and records. This position will be responsible for drawing conclusions based on the financial data analyses and conducting interviews of investors and other witnesses.

The Entry Securities Examiner will conduct investigations of possible violations of the Securities and Franchise laws by:

• drafting subpoenas
• conducting background research and witness interviews
• performing financial analyses of the source and use of funds
• drafting reports that summarize factual findings to determine the extent of securities and franchise law violations
• assisting in administrative and judicial proceedings by serving as point of contact with testimonial witnesses
• creating evidentiary and demonstrative exhibits and testifying as needed in enforcement proceedings

At this level, the Securities Examiner will initially perform fewer complex investigations under close supervision with the aim to investigate cases with increasing complexity and independence.

This position is in schedule-range (07-04) with a salary of $27.59 - $30.31 per hour, plus excellent benefits. A twelve-month probationary period is required. Pay for current state employees will be set in accordance with the Wisconsin State Compensation Plan.

>This classification series is eligible to receive up to a total of four sequential $1.50 per hour add-ons once criteria of each level is met.<

This position requires the ability to travel independently for training and business needs. Travel will be infrequent and may include overnight stays. The majority of travel will be within the State of Wisconsin, however, limited out of state travel may be required for training purposes.

Prior to any appointments for position(s) filled from this announcement, candidates may be subject to a comprehensive criminal background check.

This state agency does not sponsor work visas. Any appointment made will be contingent on the applicant being able to prove valid status to work in the United States.

**Please be aware that state ethics laws and policies apply to this position. If you are offered and accept this position, these restrictions may preclude you from owning bank stock or having other financial interests in certain financial institutions. If you have any questions, please contact Chris Green, Assistant Chief Legal Counsel, Wisconsin Department of Financial Institutions (DFI), chris.green1@dfi.wisconsin.gov, (608) 716-9687.**

Minimally qualified candidates must detail having experience in all of the following in order to be considered:

• Investigating and/or resolving customer/consumer complaints utilizing conflict resolution techniques
• Preparing/drafting financial reports or records
• Applying basic accounting principles in financial analyses

In addition to all of the above qualifications, well qualified candidates will also detail having experience in at least one of the following:

• Conducting fraud-related investigations
• Tracing cryptocurrency transactions and conducting blockchain analysis with intermediate ability
• Applying forensic account principles to financial analyses

Apply online! To apply, click “Apply for Job” to start the application process. Then, you will access your existing account or to create a new account if you don’t have an account. Once you are logged in, click “Apply for Job.” Follow the steps outlined in the application process and submit your application.

Your application materials are very important parts of your application and are used during our evaluation process to determine your qualifications as they relate to the job. For instructions on how to develop and what should be included in these materials, click here. For more information on the basics of the selection process and how the State of WI ensures fair and equitable treatment of all applicants, click here. The vast majority of applicants are able to outline their background and experience in their resume in 1-3 pages. Any resumes submitted with more than 10 pages will not be considered after page 10. If this job posting requires a letter of qualifications, the same limit applies.

Permanent classified state employees who are eligible for consideration (transfer or voluntary demotion) should complete the application process as described above by the stated deadline.

Submitted materials will be evaluated by a panel of job experts and the most qualified applicants will be invited to participate in the next step of the selection process. Questions related to the job and how to apply can be directed to Vicki Kaul at vicki.kaul@dot.wi.gov. For general wisc.jobs user information and technical assistance, please see the wisc.jobs Frequently Asked Questions page.

All application materials must be received by 11:59 p.m. CST on February 11th, 2025.